中国企业在美国市场的专利风险因素研究
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摘要
中国、美国分别是世界上最大的发展中国家和发达国家，中美双方贸易总额在2003年首次突破千亿，近些年也一直呈现快速增长趋势。与此同时，中国企业在美国市场频繁遭遇专利风险，突出表现为企业卷入专利侵权诉讼和337调查案件。专利风险已经成为中国企业在美国市场经营的“阿喀琉斯之踵”。中国企业为何在美国市场遭受如此频繁的专利风险？企业在市场运营中面对哪些具体的专利风险因素？是否有方法对于专利风险进行量化评价和描述？这些都是我国企业在美国市场经营中所要面临的重要问题，也是本学位论文研究的核心问题。
本文首先对中国企业在美国市场的专利风险整体现状进行描述。指出中国企业在美国市场上的专利风险，与中国对美贸易的发展和美国专利强保护战略的实施有直接联系。在此基础上，本文将中国企业在美国市场的专利风险界定为中国企业在美国市场运营过程中，由于专利资源、企业市场行为和企业对于专利制度的掌握和运用等方面的差距，导致企业陷入专利侵权纠纷、诉讼和337调查，并给企业当前美国市场经营、潜在预期收益和未来市场拓展带来负面影响的可能性。
其次，本文从专利属性的角度，指出中国企业在美国市场的专利风险因素。以专利授权为分割点，将专利属性划分为品质属性和价值属性，分别设置关键性变量；以中国企业在美国市场的专利侵权涉案专利为研究对象，通过建立比较模型开展实证研究。结果显示，专利未来发生侵权纠纷的可能性，不仅与专利授权时的品质属性相关，同时与授权后专利运行中形成的新的价值属性相关。
然后，本文从企业行为的视角，指出中国企业在美国市场的专利风险因素。将企业在美国市场的专利侵权纠纷划分为默认、协商、诉讼和禁止四阶段，构建了企业专利纠纷发展动态模型，从本源角度分析导致专利纠纷和侵权案件的因素。通过对中国企业在美国市场的专利侵权案件实证研究，证明企业彼此之间技术的接近度、企业的规模、企业持有的专利数量和企业R&D投入都会对专利侵权诉讼发生与否产生影响。
之后，本文对2011年美国新的专利法进行了深入分析。根据中国企业在美国市场经营的需要，从专利申请、专利审查、专利保护制度等方面，指出中国企业在美国市场的专利风险因素。
最后，本文构建了中国企业在美国市场的专利风险评价模型。以专利属性、企业市场行为和美国专利制度为基本风险类别，以研究得到的系列专利风险因素为基础，构建中国企业在美国市场的专利风险评价指标体系。设计了“影响程度”、“不确定程度”和“可控程度”三维的专利风险测量维度，最终建立了中国企业在美国市场的专利风险评价模型。以在美国北加利福尼亚州注册的中国企业为对象开展实证研究。研究证明，该模型不仅能有效实现企业在美国市场专利风险的量化描述，同时可以基于不同的分析单位，针对企业市场经营和相关专利特点，从纵向、横向不同的层面，进行深入、具体的专利风险分析。
China is the largest developing country while the U.S. is the largest developedcountry. The volume of China-U.S. bilateral trade topped US$1000billion in2003. Inrecent years, great progress has been made by the trade between China and U.S., Thevolume of trade keeps rising every year and the trade connection of the two sides becomesmore and more tight. However, the patent risk of Chinese enterprises in the U.S. marketincreased in recent years. The patent litigation and337investigations are the mostcommon manifestation of patent risk in the U.S. market. The patent risk has been theAchilles heel of the Chinese companies that operate in the U.S. market. Why did Chinesecompanies frequently subjected to patent risk in the U.S. market? What are some specificpatent risk factors? Can we identify the patent risk factors and conduct quantitativeresearch? This thesis focuses on those patent risk factors which affect the Chineseenterprises growth in the United States market.
First of all, this thesis depicts a general view of the patent risk of Chineseenterprises in the U.S. market and lays the foundation for the patent risk factorsidentification and evaluation research. The patent risk Chinese encountered usually arisesfrom the China’s trade surplus with the U.S. and the U.S. patent system. Therefore, thisthesis proposes a new concept of the patent risk of Chinese enterprises in the U.S market.It defines the patent risk of Chinese enterprises in U.S. market as the multifold gaps–including patent resources, enterprise’ behavior and the patent system–between Chineseenterprises and overseas enterprises, can make business into patent litigation or337investigation, that could either affect the current profitability or cause the permanentdestruction of the potential for future development.
Secondly, this thesis identifies the patent risk factors from the patent characteristicperspective. Based on the patent issues, the thesis divides the patent characteristic intointrinsic trait and acquire trait. Comparing the litigated patent and un-litigated patents thisthesis finds that the risk associated with an individual patent depends not only on theintrinsic traits of the issued patents but also the acquired characteristics obtained in the post-issuance patent events.
Thirdly, this thesis provides the first look at patent risk factors from the companybehavior perspective. Divided the patent disputes into four stages: acquiesce, settlement,filing and deter, a patent dispute dynamic model established. Then, the empirical analyzereveals that Chinese enterprises face dramatically increase hazards of litigation in U.Smarket when prospective plaintiff acquire more patents and when firms are larger andtechnological close. The patent litigation is more likely when prospective defendantsinvest more in R&D.
Fourthly, This paper conducts a deeply analysis of the2011Patent Reform Act (theLeahy-Smith American Invents Act), which represents the most significant reform of thePatent Act in nearly60years, was signed into law by the President Obama on September16,2011. The thesis is not an introduction to the U.S patent system, but analyzes andidentifies the patent risk factors from the perspective of patent policy system. It revealsthat the new regulations in patent application, patent examination and patent protection arethe critical parameters in Chinese Companies operate in the U.S. market.
Finally, this thesis structures an evaluation model of patent risk of Chineseenterprises in the U.S. market. The efficiency indicators including three aspects, the patentcharacteristics, the company behavior and2011U.S. patent reform bill. This thesisestablishes a patent risk quantitative assessment model from the perspectives of theinfluence degree, uncertainty and controllability. A realistic case study shows theapplication process and significant of the evaluation model. It proves that this model canevaluate the patent risk of single enterprise and multiple enterprises. In addition, the modelcan compare the differences of patent risk of evaluated objects.
本文首先对中国企业在美国市场的专利风险整体现状进行描述。指出中国企业在美国市场上的专利风险，与中国对美贸易的发展和美国专利强保护战略的实施有直接联系。在此基础上，本文将中国企业在美国市场的专利风险界定为中国企业在美国市场运营过程中，由于专利资源、企业市场行为和企业对于专利制度的掌握和运用等方面的差距，导致企业陷入专利侵权纠纷、诉讼和337调查，并给企业当前美国市场经营、潜在预期收益和未来市场拓展带来负面影响的可能性。
其次，本文从专利属性的角度，指出中国企业在美国市场的专利风险因素。以专利授权为分割点，将专利属性划分为品质属性和价值属性，分别设置关键性变量；以中国企业在美国市场的专利侵权涉案专利为研究对象，通过建立比较模型开展实证研究。结果显示，专利未来发生侵权纠纷的可能性，不仅与专利授权时的品质属性相关，同时与授权后专利运行中形成的新的价值属性相关。
然后，本文从企业行为的视角，指出中国企业在美国市场的专利风险因素。将企业在美国市场的专利侵权纠纷划分为默认、协商、诉讼和禁止四阶段，构建了企业专利纠纷发展动态模型，从本源角度分析导致专利纠纷和侵权案件的因素。通过对中国企业在美国市场的专利侵权案件实证研究，证明企业彼此之间技术的接近度、企业的规模、企业持有的专利数量和企业R&D投入都会对专利侵权诉讼发生与否产生影响。
之后，本文对2011年美国新的专利法进行了深入分析。根据中国企业在美国市场经营的需要，从专利申请、专利审查、专利保护制度等方面，指出中国企业在美国市场的专利风险因素。
最后，本文构建了中国企业在美国市场的专利风险评价模型。以专利属性、企业市场行为和美国专利制度为基本风险类别，以研究得到的系列专利风险因素为基础，构建中国企业在美国市场的专利风险评价指标体系。设计了“影响程度”、“不确定程度”和“可控程度”三维的专利风险测量维度，最终建立了中国企业在美国市场的专利风险评价模型。以在美国北加利福尼亚州注册的中国企业为对象开展实证研究。研究证明，该模型不仅能有效实现企业在美国市场专利风险的量化描述，同时可以基于不同的分析单位，针对企业市场经营和相关专利特点，从纵向、横向不同的层面，进行深入、具体的专利风险分析。
China is the largest developing country while the U.S. is the largest developedcountry. The volume of China-U.S. bilateral trade topped US$1000billion in2003. Inrecent years, great progress has been made by the trade between China and U.S., Thevolume of trade keeps rising every year and the trade connection of the two sides becomesmore and more tight. However, the patent risk of Chinese enterprises in the U.S. marketincreased in recent years. The patent litigation and337investigations are the mostcommon manifestation of patent risk in the U.S. market. The patent risk has been theAchilles heel of the Chinese companies that operate in the U.S. market. Why did Chinesecompanies frequently subjected to patent risk in the U.S. market? What are some specificpatent risk factors? Can we identify the patent risk factors and conduct quantitativeresearch? This thesis focuses on those patent risk factors which affect the Chineseenterprises growth in the United States market.
First of all, this thesis depicts a general view of the patent risk of Chineseenterprises in the U.S. market and lays the foundation for the patent risk factorsidentification and evaluation research. The patent risk Chinese encountered usually arisesfrom the China’s trade surplus with the U.S. and the U.S. patent system. Therefore, thisthesis proposes a new concept of the patent risk of Chinese enterprises in the U.S market.It defines the patent risk of Chinese enterprises in U.S. market as the multifold gaps–including patent resources, enterprise’ behavior and the patent system–between Chineseenterprises and overseas enterprises, can make business into patent litigation or337investigation, that could either affect the current profitability or cause the permanentdestruction of the potential for future development.
Secondly, this thesis identifies the patent risk factors from the patent characteristicperspective. Based on the patent issues, the thesis divides the patent characteristic intointrinsic trait and acquire trait. Comparing the litigated patent and un-litigated patents thisthesis finds that the risk associated with an individual patent depends not only on theintrinsic traits of the issued patents but also the acquired characteristics obtained in the post-issuance patent events.
Thirdly, this thesis provides the first look at patent risk factors from the companybehavior perspective. Divided the patent disputes into four stages: acquiesce, settlement,filing and deter, a patent dispute dynamic model established. Then, the empirical analyzereveals that Chinese enterprises face dramatically increase hazards of litigation in U.Smarket when prospective plaintiff acquire more patents and when firms are larger andtechnological close. The patent litigation is more likely when prospective defendantsinvest more in R&D.
Fourthly, This paper conducts a deeply analysis of the2011Patent Reform Act (theLeahy-Smith American Invents Act), which represents the most significant reform of thePatent Act in nearly60years, was signed into law by the President Obama on September16,2011. The thesis is not an introduction to the U.S patent system, but analyzes andidentifies the patent risk factors from the perspective of patent policy system. It revealsthat the new regulations in patent application, patent examination and patent protection arethe critical parameters in Chinese Companies operate in the U.S. market.
Finally, this thesis structures an evaluation model of patent risk of Chineseenterprises in the U.S. market. The efficiency indicators including three aspects, the patentcharacteristics, the company behavior and2011U.S. patent reform bill. This thesisestablishes a patent risk quantitative assessment model from the perspectives of theinfluence degree, uncertainty and controllability. A realistic case study shows theapplication process and significant of the evaluation model. It proves that this model canevaluate the patent risk of single enterprise and multiple enterprises. In addition, the modelcan compare the differences of patent risk of evaluated objects.
引文
①参见：中华人民共和国统计局.2011中国统计年鉴.
①数据来源参见：国家知识产权局规划发展司：专利统计简报，2012年第17期.
①数据来源参见：国家知识产权局规划发展司：专利统计简报，2012年第17期.
②35U.S.C.§111(2011)
③35U.S.C§118(2011)
③参见：35U.S.C§261(2011)
②参见：35U.S.C§112(2011)
②35. U.S.C§101(2011)
④U.S. Const. art. Ⅷ,§8
①Mayo Collaborative Service v. Prometheus Laboratories Inc.,132S. Ct.1289,101USPQ2d1961(2012)
①35U.S.C§111(2011)
①Donald S. Chisum, Craig Allen Nard, Hernert F. Schwartz, and etc. Principles of Patent Law–Case and Materials(Third Edition), NY: Foundation Press,2004,327.
②参见修改前的美国专利法35U.S.C.§102(a)(e)(g)。
③35U.S.C§102(a)(1)(2).(2011)
④35U.S.C§102(b)(1)(2)(2011)
①35U.S.C§135(2011)
②35U.S.C.§111(b),(2011)
①参见修改前的美国专利法35U.S.C.§§301-07。
②参见修改前的美国专利法35U.S.C.§§311-18。
③数据来源，参见：Stephen A. Merrill, Richard C. Levin, and Mark B. Myers. A patent System for the21th century.Washington, D.C.:the National Academic Press.
①35U.S.C.§302（2011）
②35U.S.C.§321（2011）
③35U.S.C.§311（2011）
①35U.S.C§271(a)(b)(c),(2011)
①“The Federal Circuit cannot assert jurisdiction over a case in which the complaint does not allege a patent law claim,but the answer contains a patent law counterclaim.”Holmes Group Inc. v. Vornado Air Circulation Systems, Inc.,535U.S.826(2002).
②Telecomm Technical Services Inc. v. Siemens Rolm Communications Inc.,295F.3d1249(2002), transferring the caseto the11th Circuit; and Medigene AG v. Loyola University,2002WL1478674(2002), unpublished, transferring to the7th Circuit
③Green v. Hendrickson Publishers Inc.,770N.E.2d784(2002); and R.F. Shinn Contractors v. Shinn,2002WL31942135(2002)
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①数据来源参见：国家知识产权局规划发展司：专利统计简报，2012年第17期.
①数据来源参见：国家知识产权局规划发展司：专利统计简报，2012年第17期.
②35U.S.C.§111(2011)
③35U.S.C§118(2011)
③参见：35U.S.C§261(2011)
②参见：35U.S.C§112(2011)
②35. U.S.C§101(2011)
④U.S. Const. art. Ⅷ,§8
①Mayo Collaborative Service v. Prometheus Laboratories Inc.,132S. Ct.1289,101USPQ2d1961(2012)
①35U.S.C§111(2011)
①Donald S. Chisum, Craig Allen Nard, Hernert F. Schwartz, and etc. Principles of Patent Law–Case and Materials(Third Edition), NY: Foundation Press,2004,327.
②参见修改前的美国专利法35U.S.C.§102(a)(e)(g)。
③35U.S.C§102(a)(1)(2).(2011)
④35U.S.C§102(b)(1)(2)(2011)
①35U.S.C§135(2011)
②35U.S.C.§111(b),(2011)
①参见修改前的美国专利法35U.S.C.§§301-07。
②参见修改前的美国专利法35U.S.C.§§311-18。
③数据来源，参见：Stephen A. Merrill, Richard C. Levin, and Mark B. Myers. A patent System for the21th century.Washington, D.C.:the National Academic Press.
①35U.S.C.§302（2011）
②35U.S.C.§321（2011）
③35U.S.C.§311（2011）
①35U.S.C§271(a)(b)(c),(2011)
①“The Federal Circuit cannot assert jurisdiction over a case in which the complaint does not allege a patent law claim,but the answer contains a patent law counterclaim.”Holmes Group Inc. v. Vornado Air Circulation Systems, Inc.,535U.S.826(2002).
②Telecomm Technical Services Inc. v. Siemens Rolm Communications Inc.,295F.3d1249(2002), transferring the caseto the11th Circuit; and Medigene AG v. Loyola University,2002WL1478674(2002), unpublished, transferring to the7th Circuit
③Green v. Hendrickson Publishers Inc.,770N.E.2d784(2002); and R.F. Shinn Contractors v. Shinn,2002WL31942135(2002)
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